RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
- S•••• W••• F•••••••• former currentsince Jul 31, 2026 · Memphis, Tn
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 29, 2016 to Mar 17, 2017 · Charlotte, Nc
- J••• M••••• S••••••••• L•• wirehouseMay 13, 2010 to May 23, 2016 · Denver, Co
- L••••••• A•••• M••••••••• L•• asset managerFeb 24, 2010 to Mar 26, 2010 · Los Angeles, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Feb 25, 2010 · Los Angeles, Ca
- M••••• S•••••• • C•• L•• unclassifiedFeb 19, 2008 to Jun 1, 2009 · Los Angeles, Ca
- W•••• F•••• A••••••• wirehouseSep 17, 2004 to Feb 27, 2008 · Jacksonville, Fl
- M••••• K••••• • C••••••• L•• formerOct 8, 1999 to Aug 27, 2004 · Memphis, Tn
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••• W••• F••••••••left Mar 17, 2017, registered Jul 31, 2026 (3423 days) · Wirehouse to independent RIA
- J••• M••••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 23, 2016, registered Jun 29, 2016 (37 days) · Wirehouse to wirehouse
- L••••••• A•••• M••••••••• L•• to J••• M••••• S••••••••• L••left Mar 26, 2010, registered May 13, 2010 (48 days) · Other
- M••••• S•••••• to L••••••• A•••• M••••••••• L••left Feb 25, 2010, registered Feb 24, 2010 (-1 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to M••••• S•••••• • C•• L••left Feb 27, 2008, registered Feb 19, 2008 (-8 days) · Other
- M••••• K••••• • C••••••• L•• to W•••• F•••• A•••••••left Aug 27, 2004, registered Sep 17, 2004 (21 days) · Other
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Former SEC-registered adviserderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address